Thomas Faller is a registered investment advisor at Morgan Stanley, based in Sacramento, CA, with 17 years of industry experience. Their practice areas include Investment Management. Their firm serves 2,539,760 clients with $1700B in assets under management.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
23050 advisors
IM Fee
Planning only
Assets Under Management
$1650.0B
Fee Structure
Investment management only (planning not offered)
Annual Retainer:Up to $500,000/year
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Location
400 Capitol Mall, Suite 1900, Sacramento, CA, 95814
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Regulatory History
Clean regulatory record
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Employment History
Current Registrations
Morgan Stanley
September 2023 - Present · 2 yrs 10 mos
Morgan StanleyBroker
September 2023 - Present · 2 yrs 10 mos
Previous Registrations
Merrill Lynch, Pierce, Fenner & Smith Incorporated
May 2018 - September 2023 · 5 yrs 4 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
May 2018 - September 2023 · 5 yrs 4 mos
Morgan Stanley
January 2015 - May 2018 · 3 yrs 4 mos
Morgan StanleyBroker
January 2015 - May 2018 · 3 yrs 4 mos
J.P. Morgan Securities LLCBroker
November 2014 - January 2015 · 2 mos
J.P. Morgan Securities LLC
November 2014 - January 2015 · 2 mos
Morgan Stanley
April 2013 - November 2014 · 1 yr 7 mos
Morgan StanleyBroker
April 2013 - November 2014 · 1 yr 7 mos
Merrill Lynch, Pierce, Fenner & Smith Incorporated
June 2008 - April 2013 · 4 yrs 10 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
April 2008 - April 2013 · 5 yrs
State Registrations40 states
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AdvisorBrokerBoth
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Exams
No exam information available for this advisor.